Securities and Exchange Commission v. Nadel et al
Filing
1192
Declaration of M. Yip by Burton W. Wiand re 1190 MOTION for miscellaneous relief, specifically Motion to Overrule Objections to Claims 403, 404, 405, 406, 407, 408, and 477 Notice of Filing Declaration of Maria Yip (Attachments: # 1 Exhibit M. Yip Declaration, # 2 Exhibit Ex. 1 to M. Yip Declaration, # 3 Exhibit Ex. 2 to M. Yip Declaration, # 4 Exhibit Ex. 3 to M. Yip Declaration, # 5 Exhibit Ex. 4 to M. Yip Declaration, # 6 Exhibit Ex. 5 to M. Yip Declaration, # 7 Exhibit Ex. 6 to M. Yip Declaration, # 8 Exhibit Ex. 7 to M. Yip Declaration, # 9 Exhibit Ex. 8 to M. Yip Declaration, # 10 Exhibit Ex. 9 to M. Yip Declaration, # 11 Exhibit Ex. 10-1 to M. Yip Declaration, # 12 Exhibit Ex. 10-2 to M. Yip Declaration, # 13 Exhibit Ex. 11 to M. Yip Declaration, # 14 Exhibit Ex. 12 to M. Yip Declaration, # 15 Exhibit Ex. 13 to M. Yip Declaration, # 16 Exhibit Ex. 14 to M. Yip Declaration, # 17 Exhibit Ex. 15 to M. Yip Declaration, # 18 Exhibit Ex. 16 to M. Yip Declaration, # 19 Exhibit Ex. 17 to M. Yip Declaration, # 20 Exhibit Ex. 18 to M. Yip Declaration, # 21 Exhibit Ex. 19 to M. Yip Declaration, # 22 Exhibit Ex. 20 to M. Yip Declaration, # 23 Exhibit Ex. 21 to M. Yip Declaration, # 24 Exhibit Ex. 22 to M. Yip Declaration, # 25 Exhibit Ex. 23 to M. Yip Declaration, # 26 Exhibit Ex. 24 to M. Yip Declaration, # 27 Exhibit Ex. 25 to M. Yip Declaration, # 28 Exhibit Ex. 26 to M. Yip Declaration, # 29 Exhibit Ex. 27 to M. Yip Declaration, # 30 Exhibit Ex. 28 to M. Yip Declaration, # 31 Exhibit Ex. 29 to M. Yip Declaration, # 32 Exhibit Ex. 30 to M. Yip Declaration, # 33 Exhibit Ex. 31 to M. Yip Declaration, # 34 Exhibit Ex. 32 to M. Yip Declaration, # 35 Exhibit Ex. 33 to M. Yip Declaration, # 36 Exhibit Ex. 34 to M. Yip Declaration, # 37 Exhibit Ex. 35 to M. Yip Declaration, # 38 Exhibit Ex. 36 to M. Yip Declaration, # 39 Exhibit Ex. 37 to M. Yip Declaration, # 40 Exhibit Ex. 38 to M. Yip Declaration, # 41 Exhibit Ex. 39 to M. Yip Declaration, # 42 Exhibit Ex. 40 to M. Yip Declaration, # 43 Exhibit Ex. 41 to M. Yip Declaration, # 44 Exhibit Ex. 42 to M. Yip Declaration, # 45 Exhibit Ex. 43 to M. Yip Declaration, # 46 Exhibit Ex. 44 to M. Yip Declaration, # 47 Exhibit Ex. 45 to M. Yip Declaration, # 48 Exhibit Ex. 46 to M. Yip Declaration, # 49 Exhibit Ex. 47 to M. Yip Declaration, # 50 Exhibit Ex. 48 to M. Yip Declaration, # 51 Exhibit Ex. 49 to M. Yip Declaration, # 52 Exhibit Ex. 50 to M. Yip Declaration, # 53 Exhibit Ex. 51 to M. Yip Declaration, # 54 Exhibit Ex. 52 to M. Yip Declaration, # 55 Exhibit Ex. 53 to M. Yip Declaration, # 56 Exhibit Ex. 54 to M. Yip Declaration, # 57 Exhibit Ex. 55 to M. Yip Declaration, # 58 Exhibit Ex. 56 to M. Yip Declaration, # 59 Exhibit Ex. 57 to M. Yip Declaration, # 60 Exhibit Ex. 58 to M. Yip Declaration, # 61 Exhibit Ex. 59 to M. Yip Declaration, # 62 Exhibit Ex. 60 to M. Yip Declaration, # 63 Exhibit Ex. 61 to M. Yip Declaration)(Morello, Gianluca) Modified on 8/12/2015 (KMM).
EXHIBIT 37
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking Master Fund, Ltd.
AB Watley Account No. 69552214
For the Period June 2002 through December 2002
(Sorted in Chronological Order)
Institution
Account Name
Account Number
Bank Date
(Payee)/Payor
Amount
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
69552214
69552214
69552214
69552214
69552214
06/05/02
06/05/02
06/07/02
06/28/02
06/28/02
06/28/02
07/09/02
Conversion Fr SLK
Conversion Fr SLK
Adjust Conversion Fr SLK
Margin Interest
Credit Interest
Tefra with: Credit Interest
Rvs Tefra WH Credit Interest
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
07/12/02
07/12/02
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
07/15/02
07/15/02
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
07/31/02
09/05/02
Check/Wire Fee
Arthur Nadel DBA Viking
Fund / Wachovia # 4984
Check/Wire Fee
Arthur Nadel DBA Viking
Fund / Wachovia # 4984
Margin Interest
Viking Master Fund, Ltd. /
Spear, Leeds & Kellogg
#7AY6
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
69552214
69552214
69552214
09/09/02
09/09/02
09/17/02
09/17/02
09/25/02
Aug Maint Fee Rebate
Spet Maintenance Fee
Unknown
Check/wire fee
Viking Master Fund, Ltd. /
Spear, Leeds & Kellogg
#7AY6
50.00
(50.00)
(25,000.00)
(15.00)
150,000.00
A. B. WATLEY
Viking Master Fund, Ltd.
69552214
09/26/02
(250,000.00)
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
69552214
69552214
69552214
09/26/02
09/30/02
10/02/02
10/02/02
10/15/02
Arthur Nadel DBA Viking
Fund / Wachovia # 4984
Check/wire fee
Margin Interest
Sept Maint Fee Rebate
Oct Maint Fee
Viking Master Fund, Ltd. /
Spear, Leeds & Kellogg
#7AY6
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
69552214
10/16/02
10/16/02
10/21/02
(380,000.00)
(15.00)
(50,000.00)
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
10/21/02
10/24/02
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
69552214
69552214
69552214
69552214
69552214
10/24/02
10/31/02
11/29/02
11/29/02
12/09/02
12/09/02
12/16/02
Unknown
Check/wire fee
Arthur Nadel DBA Viking
Fund / Wachovia # 4984
Check/wire fee
Victory Fund, Ltd. / Wachovia
#4790
Check/wire fee
Margin Interest
Margin Interest
Margin Interest
Dec Maintenance Fee
Nov Maint Fee Rebate
Viking Fund, LLC /
TradeStation Securities
#9RS1
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
12/16/02
12/17/02
Check/wire fee
Viking IRA Fund, LLC /
TradeStation Securities
#0RS1
(15.00)
(100,000.00)
A. B. WATLEY
Viking Master Fund, Ltd.
69552214
12/17/02
Check/wire fee
Page 1 of 2
(4,324.41)
3,339,442.00
(8,377,920.00)
(9,729.32)
194.54
(58.36)
58.36
(15.00)
(40,000.00)
(15.00)
(150,000.00)
(9,531.68)
150,000.00
(15.00)
(6,801.15)
50.00
(50.00)
300,000.00
(15.00)
(100,000.00)
(15.00)
(4,555.88)
(2,002.00)
(3,058.02)
(50.00)
50.00
(100,000.00)
(15.00)
EXHIBIT 37
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking Master Fund, Ltd.
AB Watley Account No. 69552214
For the Period June 2002 through December 2002
(Sorted in Chronological Order)
Institution
A. B. WATLEY
Account Name
Viking Master Fund, Ltd.
Account Number
69552214
A. B. WATLEY
A. B. WATLEY
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
69552214
69552214
Bank Date
12/20/02
12/20/02
12/31/02
(Payee)/Payor
Viking IRA Fund, LLC / Bank
of America #7521
Check/wire fee
Margin Interest
Sources:
1. Brokerage account statements.
2. Bank of America and Wachovia bank account statements including deposit slips, cancelled checks and wire detail.
3. QuickBooks files.
Page 2 of 2
Amount
(131,000.00)
(15.00)
(5,396.73)